November 2018-San Angelo, TX
According to publicly available records Cecil Allen Ross , (CRD# 2391047) , a stockbroker who was previously registered with Raymond James Financial Services, Inc., disclose a prior customer dispute .
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In October of 2015 a customer of Raymond James Financial Services, Inc., was awarded $100,000 by a FINRA arbitration panel to resolve allegations that Ross had sold unsuitable investments and engaged in excessive trading. FINRA Case 14-2745.
Ross was employed by Raymond James Financial Services from August 2004 until October 2014. He has been employed by LPL Financial Services since 9/2014.
If you have losses in an account in an account handled by Cecil Allen Ross, contact us for a no charge consultation to learn how you may be able to recover damages from his employer through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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